Compliance Program Group Manager

PNC • Washington, DC

11d • Onsite

About The Position

At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company’s success. As a Compliance Program Group Manager within PNC's Legal & Corporate Ethics organization, you will be based in a Legal Hub for PNC. PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance. We encourage candidates to connect with their recruiter and hiring manager to understand workplace expectations and ensure the role aligns with their goals. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position. Job Description Oversees, establishes and enhances effective compliance programs and designs policies to identify and prevent illegal, unethical, or improper business practices. Responsible for staff development and solves talent management problems. Constructively challenges conclusions/status quo and uses established credibility to influence sophisticated customers. Supports key business initiatives by formulating recommendations from data to identify compliance risks. Presents resolutions to manage and mitigate the identified risks to senior business partners and external stakeholders. Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives. Works cooperatively with the business, legal partners, audit and other risk disciplines across the organization. May include developing, facilitating, and conducting Compliance training programs for junior staff. Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified and presents recommendations on necessary risk mitigation to Executive leadership, and external stakeholders. Uses knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment. Directs the management of regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies. Oversees the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Establishes the Compliance program objectives for assigned area, products/services, and applicable regulations. Responsible for communicating and socializing those objectives (from a leadership position) to executive level business partners, external stakeholders, and all impacted staff. Independently challenges analyses and formulates value-added recommendations. Advises junior staff on how to appropriately challenge analyses and how to formulate thoughtful recommendations as needed. Accountable for all compliance report data. Presents reports to executive leadership and external stakeholders. Manages issues by escalating through proper governance channels as needed, and recommends corrective action plans. Advises junior staff on report analysis techniques as applicable. Reviews and approves all new/enhanced reports before implementation and distribution. PNC Employees take pride in our reputation and to continue building upon that we expect our employees to be: Customer Focused - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions. Managing Risk - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework.

Requirements

• Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role.
• Roles at this level typically require a university / college degree.
• Industry-relevant experience is typically 8+ years.
• At least 5 years of prior management experience is typically required.
• Proven leadership experience with a moderate to large scope of responsibility is required.
• In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.

Nice To Haves

• Compliance Reporting
• Customer Risk
• Decision Making
• Regulatory Requirements
• Risk Assessments
• Risk Control
• Strategic Objectives
• Higher level education such as a Masters degree, PhD, or certifications is desirable.

Responsibilities

• Oversees, establishes and enhances effective compliance programs and designs policies to identify and prevent illegal, unethical, or improper business practices.
• Responsible for staff development and solves talent management problems.
• Constructively challenges conclusions/status quo and uses established credibility to influence sophisticated customers.
• Supports key business initiatives by formulating recommendations from data to identify compliance risks.
• Presents resolutions to manage and mitigate the identified risks to senior business partners and external stakeholders.
• Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives.
• Works cooperatively with the business, legal partners, audit and other risk disciplines across the organization.
• May include developing, facilitating, and conducting Compliance training programs for junior staff.
• Assesses activity for existing and emerging risks.
• Evaluates the materiality of the risks identified and presents recommendations on necessary risk mitigation to Executive leadership, and external stakeholders.
• Uses knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment.
• Directs the management of regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies.
• Oversees the compliance monitoring program and reviews activity to ensure it falls within established risk control limits.
• Establishes the Compliance program objectives for assigned area, products/services, and applicable regulations.
• Responsible for communicating and socializing those objectives (from a leadership position) to executive level business partners, external stakeholders, and all impacted staff.
• Independently challenges analyses and formulates value-added recommendations.
• Advises junior staff on how to appropriately challenge analyses and how to formulate thoughtful recommendations as needed.
• Accountable for all compliance report data.
• Presents reports to executive leadership and external stakeholders.
• Manages issues by escalating through proper governance channels as needed, and recommends corrective action plans.
• Advises junior staff on report analysis techniques as applicable.
• Reviews and approves all new/enhanced reports before implementation and distribution.

Benefits

• PNC offers a comprehensive range of benefits to help meet your needs now and in the future.
• Depending on your eligibility, options for full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life insurance; short and long-term disability protection; 401(k) with PNC match, pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption, surrogacy, and doula reimbursement; educational assistance, including select programs fully paid; a robust wellness program with financial incentives.
• In addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 9 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Number of Employees: 5,001-10,000 employees